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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

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COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

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COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

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GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

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DISP App 3.2 The assessment of a complaint

As Published: 2017

DISP App 3.2 The assessment of a complaint

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

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SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

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RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

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REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

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CONC 6.6 Pawn broking: conduct of business

As Published: 2014

CONC 6.6 Pawn broking: conduct of business

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PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

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MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

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REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

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EG 19.10 Enterprise Act 2002